WH
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
8 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
This document does not contain any fee information. It is a brochure supplement providing information about the firm's executive management.
Areas of Practice
Investment Management
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Advisor Information
Office location
50 High Street, 4th Floor, North Andover, MA, 01845
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Northern Capital Securities Corporation
July 2020 - Present · 5 yrs 6 mos
Northern Capital Securities Corporation
April 2020 - Present · 5 yrs 9 mos
Northern Capital Securities Corporation Broker
April 2020 - Present · 5 yrs 9 mos
Previous Registrations
Axio Financial LLCBroker
June 2018 - April 2020 · 1 yr 10 mos
Managed Account Services, LLCBroker
January 2017 - March 2018 · 1 yr 2 mos
Cuso Financial Services, L.P. Broker
November 2016 - December 2016 · 1 mo
Cuso Financial Services, L.P.
November 2016 - December 2016 · 1 mo
Advisors Asset Management, INC.
June 2008 - April 2016 · 7 yrs 10 mos
Advisors Asset Management, INC. Broker
May 2002 - April 2016 · 13 yrs 11 mos
State Registrations3 states
MANYTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.